SIE Exam: 1001 Practice Questions For Dummies (For Dummies (Business & Personal Finance)) 9781394195244, 9781394195251, 9781394195268, 1394195249

Table of contents :
Title Page
Copyright Page
Table of Contents
Introduction
What You’ll Find
Beyond the Book
Where to Go for Additional Help
Part 1 Tackling the Questions
Chapter 1 Securities Underwriting: The Process and the Team Players
The Problems You’ll Work On
What to Watch Out For
1–35 Bringing New Issues to Market
36–43 Types of Securities Offerings
44–61 Exempt Securities and Transactions
Chapter 2 Equity Securities: Corporate Ownership
The Problems You’ll Work On
What to Watch Out For
62–97 Common Stock
98–125 Preferred Stock
126–141 ADRs, Rights, and Warrants
Chapter 3 Debt Securities: Corporate and U.S. Government Loans
The Problems You’ll Work On
What to Watch Out For
142–178 Types of Bonds
179–208 Price and Yield Calculations
209–224 U.S. Government Securities
225–238 Money Market Instruments
Chapter 4 Municipal Bonds: Local Government Securities
The Problems You’ll Work On
What to Watch Out For
239–268 GO and Revenue Bonds
269–275 The Primary Market
276–286 Additional Municipal Bonds
287–296 Municipal Notes
297–302 Municipal Fund Securities
303–313 Taxes on Municipal Bonds
314–335 Municipal Bond Rules
Chapter 5 Delivering Diversification with Packaged Securities
The Problems You’ll Work On
What to Watch Out For
336–340 Investment Company Rules
341–384 Management Investment Companies
385–406 Investment Company Options
407–431 Annuities
432–436 Variable Life Insurance Products
Chapter 6 Working with Direct Participation Programs and REITs
The Problems You’ll Work On
What to Watch Out For
437–457 DPPs, General, and Limited Partners
458–464 Partnership Paperwork
465–470 Passive Gains and Losses
471–491 Types of DPPs
492–502 REITs
Chapter 7 Options: Understanding the Basics of Puts and Calls
The Problems You’ll Work On
What to Watch Out For
503–535 Option Basics
536–573 Standard Option Math
574–602 Option Paperwork and Rules
Chapter 8 Customer Accounts: Doing the Right Thing
The Problems You’ll Work On
What to Watch Out For
603–622 Opening Accounts
623–640 Selecting the Appropriate Type of Account
641–664 Margin Accounts
665–667 Telephone Act of 1991
Chapter 9 Securities Analysis: Doing a Little Market Research
The Problems You’ll Work On
What to Watch Out For
668–686 Systematic and Nonsystematic Risk
687–709 Fundamental and Technical Analysis
710–734 Money Supply and Monetary Policy
735–744 Economic Indicators
745–752 Cyclical, Defensive, and Growth Investments
753–755 Economic Theories
Chapter 10 Securities Markets: Taking Orders and Executing Trades
The Problems You’ll Work On
What to Watch Out For
756–763 Primary and Secondary Market
764–774 Making the Trade
775–781 Broker-Dealer
782–810 Executing Customer Orders
811–815 Types of Investors
Chapter 11 Making Sure the IRS Gets Its Share: Taxes and Retirement Plans
The Problems You’ll Work On
What to Watch Out For
816–822 Tax Categories and Types of Income
823–843 Taxes on Investments
844–876 Retirement Plans
Chapter 12 Rules and Regulations: No Fooling Around
The Problems You’ll Work On
What to Watch Out For
877–892 Securities Regulatory Organizations
893–904 FINRA Registration and Reporting Requirements
905–957 Trading After the Account Is Open
958–993 Additional Rules
994–1,001 FDIC and SIPC
Part 2 Checking Your Answers
Chapter 13 The Answers
Chapter 1 Answers
Chapter 2 Answers
Chapter 3 Answers
Chapter 4 Answers
Chapter 5 Answers
Chapter 6 Answers
Chapter 7 Answers
Chapter 8 Answers
Chapter 9 Answers
Chapter 10 Answers
Chapter 11 Answers
Chapter 12 Answers
Index
EULA